CM
Chadwick Mcguire
Some features on this profile are disabled
CRD#: 7727622
CM
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Chadwick Mcguire, who also goes by Chad Mcguire, was a registered financial professional .
Chadwick is a previously registered financial professional and started their career in finance in 2023. Chadwick had worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Chad Mcguire
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Empirical Industries LLC Type of business: Online Retail Social Circle, GA Start date: 4/21/2019 Managing Member Hours per week: 1 Hours during trading: 0 Filing official documents ZM Transportation LLC Type of business: Logistics Mansfield, TX Start date: 4/21/2022 Managing Member Hours per week: 1 Hours during trading: 0 Filing official documents Small Wrld Inc Type of business: Fulfillment Middletown, DE Start date: 9/27/2021 Co-Owner Hours per week: 1 Hours during trading: 0 Filing official documents, building spreadsheets, and data analysis. B's Roots LLC Type of business: Services Social Circle, GA Start date: 10/3/2021 Managing Member Hours per week: 1 Hours during trading: 0 Filing official documents Lightfoot & McGuire LLC Type of business: Consulting Monroe, GA Start date: 7/9/2023 Managing Member Hours per week: 1 Hours during trading: 0 Filing official documents Social Circle City Schools Type of business: Coaching Social Circle, GA Start date: 7/1/2024 Head Coach Hours per week: 1 Hours during trading: 0 Coaching middle school girls basketball team Realizing Every Dream Inc Type of business: Non-Profit Social Circle, GA Start date: 7/9/2024 Owner/President Hours per week: 1 Hours during trading: 0 Providing charitable services to families in need
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
August 23, 2023 - August 1, 2025
EDWARD JONES
RIA
CRD#: 250
SOCIAL CIRCLE, GA
Past
June 20, 2023 - August 1, 2025
EDWARD JONES
BD
CRD#: 250
SOCIAL CIRCLE, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
EDWARD JONES
EDWARD D. JONES & CO., L.P. | EDWARD JONES GENERATIONS | EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
RIA
Registered Investment Advisory firm - SEC (10/24/1963 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/20/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
EDWARD JONES
EDWARD D. JONES & CO., L.P. | EDWARD JONES GENERATIONS | EDWARD JONES
CRD#: 250 / SEC#: 801-3297, 8-759
RIA
Registered Investment Advisory firm - SEC (10/24/1963 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
12555 Manchester Road, St. Louis, MO 63131
Mailing Address
12555 Manchester Road, St. Louis, MO 63131-3710
Phone number
(314) 515-2000
Established
Missouri since 02/20/1941
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Large
# of Employees
29,003
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JONES FINANCIAL COMPANIES, L.L.L.P. | LIMITED PARTNER | |
| CHUBAK, DAVID | HEAD OF WEALTH MANAGEMENT & FIELD MANAGEMENT | 3254042 |
| EDJ HOLDING COMPANY, INC. | GENERAL PARTNER | |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 4928947 |
| GUMBS, KEIR DEVON | CHIEF LEGAL OFFICER | 7815615 |
| GUNN, DAVID ALEXANDER | HEAD OF U.S. BUSINESS UNIT | 6150579 |
| JOHNSON, KRISTIN MICHELE | CHIEF OPERATING OFFICER | 2662524 |
| KLOCKE, JOSEPH LAWRENCE | CO-HEAD OF SUPERVISION | 2792068 |
| MIEDLER, ANDREW TIMOTHY | CHIEF FINANCIAL OFFICER | 4620055 |
| O'HANLON, ELIZABETH E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISOR | 5834716 |
| PENNINGTON, PENELOPE | CHIEF EXECUTIVE OFFICER | 4037237 |
| PURDY, TODD JUDSON | HEAD OF OPERATIONS | 5623190 |
| WHALLEY, CASEY JOHN | CO-HEAD OF SUPERVISION | 4305865 |
Regulatory assets under management
| Total Number of Accounts | 5,086,856 |
| AUM (Assets Under Management) | $ 824,988,034,503 |
Disclosures
| Regulatory Event | 157 |
| Civil Event | 2 |
| Arbitration | 150 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/25/2025 | ||
| 10/24/2024 | ||
| 09/21/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
